Scott Muirhead

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CRD#: 5126432

Professional summary

Scott Muirhead was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Scott is a previously registered financial advisor and started their career in finance in 2006. Prior to being barred, Scott had worked at 6 firms, which includes MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CETERA ADVISORS LLC, SIGNATOR INVESTORS INC., BRIGHT TRADING LLC, PRINCIPAL SECURITIES INC., OSAIC FA INC..

Question & Answer

Are you a "fiduciary"?

Aliases

William Scott Muirhead

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 10, 2014 - December 22, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JACKSONVILLE, FL

Past

March 6, 2014 - December 22, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

JACKSONVILLE, FL

Past

June 25, 2012 - November 5, 2012

CETERA ADVISORS LLC

RIA

CRD#: 10299

SACHSE, TX

Past

June 25, 2012 - November 5, 2012

CETERA ADVISORS LLC

CRD#: 10299

SACHSE, TX

Past

June 23, 2011 - June 26, 2012

SIGNATOR INVESTORS, INC.

CRD#: 468

DALLAS, TX

Past

September 20, 2010 - March 24, 2011

BRIGHT TRADING, LLC

CRD#: 34702

HENDERSON, NV

Past

April 28, 2008 - September 21, 2010

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

SACHSE, TX

Past

April 23, 2008 - September 21, 2010

PRINCIPAL SECURITIES, INC.

CRD#: 1137

SACHSE, TX

Past

September 18, 2006 - April 22, 2008

OSAIC FA, INC.

RIA

CRD#: 3978

DALLAS, TX

Past

June 5, 2006 - April 22, 2008

OSAIC FA, INC.

CRD#: 3978

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.

CRD#: 7691 / SEC#: 801-14235, 8-7221

RIA

Registered Investment Advisory firm - SEC (12/8/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/16/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/22/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/2006

General Securities Representative Examination

Current Firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.

CRD#: 7691 / SEC#: 801-14235, 8-7221

RIA

Registered Investment Advisory firm - SEC (12/8/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Bryant Park, New York, NY 10036

Mailing Address

150 N College St Nc1-028-29-04, Charlotte, NC 28255

Phone number

(800) 637-7455

Established

Delaware since 11/10/1958

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

33,689

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MERRILL LYNCH INVESTMENT ADVISORY PROGRAM BROCHURE (1/5/2026)

MERRILL LYNCH FIDUCIARY ADVISORY SERVICES (12/3/2025)

MERRILL GUIDED INVESTING BROCHURE (11/14/2025)

MERRILL PERSONAL RETIREMENT STRATEGY (11/14/2025)

MERRILL GUIDED INVESTING WITH ADVISOR BROCHURE (11/14/2025)

MERRILL SMALL BUSINESS 401(K) ADVISORY SERVICE (11/10/2025)

MAA MLPFS 2A FOR SELECT PORTFOLIO SOLUTIONS (3/21/2025)

ADVICE ACCESS BROCHURE (3/21/2025)

MERRILL LYNCH INSTITUTIONAL INVESTMENT CONSULTING (3/21/2025)

MERRILL EDGE ADVISORY ACCOUNT BROCHURE (3/21/2025)

MERRILL LYNCH STRATEGIC PORTFOLIO ADVISOR SERVICE BROCHURE (3/21/2025)

MERRILL LYNCH MANAGED ACCOUNT SERVICE BROCHURE (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
BAC NORTH AMERICA HOLDING COMPANY	SHAREHOLDER
AXELROD, SUSAN F	CHIEF COMPLIANCE OFFICER	6949587
FAHMY, NANCY MONIR	DIRECTOR	2689751
GELLENE, MATTHEW THOMAS	DIRECTOR	1977160
HANS, LINDSAY DENARDO	STATE DESIGNATED PRINCIPAL & DIRECTOR	4429443
HEATON, DAVID CARLETON JR	CHIEF LEGAL OFFICER	5972432
MOONEY, SARA RATHBONE	CHIEF FINANCIAL OFFICER	7616382
SABBIA, LORNA ROSE	DIRECTOR	1873495
SANTANNA, VINCENT C.	CHIEF OPERATIONS OFFICER & FINOP	5290525
SCHIMPF, ERIC A	DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL	2494318

Regulatory assets under management

Total Number of Accounts	3,085,811
AUM (Assets Under Management)	$ 1,511,090,925,436

Disclosures

Regulatory Event	610
Civil Event	4
Arbitration	878

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/15/2025	Cover Page	Report
11/25/2024	Cover Page	Report
08/24/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Scott Muirhead

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CETERA ADVISORS LLC

CETERA ADVISORS LLC

SIGNATOR INVESTORS, INC.

BRIGHT TRADING, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

OSAIC FA, INC.

OSAIC FA, INC.

Primary Firm SEC Registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 9/16/2006

SIE

Date: 12/22/2014

Series 7

Date: 6/3/2006

Current Firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TRUST BUT VERIFY

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